[Federal Register Volume 81, Number 124 (Tuesday, June 28, 2016)]
[Rules and Regulations]
[Pages 41790-41796]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-15148]
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DEPARTMENT OF ENERGY
10 CFR Parts 207, 218, 429, 431, 490, 501, 601, 820, 824, 851,
1013, 1017, and 1050
RIN 1990-AA46
Inflation Adjustment of Civil Monetary Penalties
AGENCY: Office of the General Counsel, U.S. Department of Energy.
ACTION: Interim final rule.
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SUMMARY: The Department of Energy (``DOE'') publishes this interim
final rule to adjust DOE's civil monetary penalties (``CMPs'') for
inflation as mandated by the Federal Civil Penalties Inflation
Adjustment Act of 1990, as further amended by the Federal Civil
Penalties Inflation Adjustment Act Improvements Act of 2015
(collectively referred to herein as ``the Act''). This rule adjusts
CMPs within the jurisdiction of DOE to the maximum amount required by
the Act.
[[Page 41791]]
DATES: This rule is effective July 28, 2016. Written comments must be
received by July 28, 2016.
ADDRESSES: You may submit comments, identified by RIN 1990-AA46, by any
of the following methods:
1. Federal eRulemaking Portal: https://www.regulations.gov/. Follow
the instructions for submitting comments.
2. Email to [email protected]. Include RIN 1990-AA46 in
the subject line of the email. Please include the full body of your
comments in the text of the message or as an attachment.
3. Mail: Address written comments to U.S. Department of Energy,
Office of the General Counsel, Room 6A-179, 1000 Independence Avenue
SW., Washington, DC 20585.
Due to potential delays in DOE's receipt and processing of mail
sent through the U.S. Postal Service, we encourage respondents to
submit comments electronically to ensure timely receipt.
FOR FURTHER INFORMATION CONTACT: Preeti Chaudhari, U.S. Department of
Energy, Office of the General Counsel, GC-33, 1000 Independence Avenue
SW., Washington, DC 20585, (202) 586-8078.
SUPPLEMENTARY INFORMATION:
I. Background
II. Method of Calculation
III. Summary of Interim Final Rule
IV. Interim Final Rulemaking
V. Regulatory Review
I. Background
In order to improve the effectiveness of CMPs and to maintain their
deterrent effect, the Federal Civil Penalties Inflation Adjustment Act
of 1990, 28 U.S.C. 2461 note (``the Inflation Adjustment Act''), as
further amended by the Federal Civil Penalties Inflation Adjustment Act
Improvements Act of 2015 (Public Law 114-74) (``the 2015 Act''),
requires Federal agencies to adjust each CMP provided by law within the
jurisdiction of the agency. The 2015 Act requires agencies to adjust
the level of CMPs with an initial ``catch-up'' adjustment through an
interim final rulemaking and to make subsequent annual adjustments for
inflation notwithstanding 5 U.S.C. 553. The 2015 Act also provides that
any increase in a CMP shall apply only to CMPs, including those whose
associated violation predated such increase, which are assessed after
the date the increase takes effect.
Pursuant to the 2015 Act, OMB issued a guidance memorandum on the
implementation of the 2015 Act.\1\ This interim final rule is issued in
accordance with applicable law and the OMB guidance memorandum.
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\1\ The guidance memorandum was issued on February 24, 2016, and
references the adjustment multipliers and how to apply them.
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II. Method of Calculation
The method of calculating CMP adjustments applied in this interim
final rule is required by the 2015 Act. Under the 2015 Act, catch-up
adjustments are based on the percent change between the Consumer Price
Index for all Urban Consumers (CPI-U) for the month of October in the
year of the previous adjustment, and the October 2015 CPI-U. Subsequent
annual inflation adjustments are to be based on the percent change
between the October CPI-U preceding the date of the adjustment, and the
prior year's October CPI-U. Under the 2015 Act, any increase in CMP
shall be rounded to the nearest multiple of $1.
III. Summary of the Interim Final Rule
The following list summarizes DOE authorities containing CMPs, and
the penalties before and after adjustment. The list also identifies the
year the original maximum and/or minimum penalty level was established
or last adjusted, excluding any previous adjustments made under the
Inflation Adjustment Act. Finally, the list provides the CPI-U
adjustment multiplier.
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\2\ Implemented by 10 CFR 820.81, 10 CFR 851.5, and appendix B
to 10 CFR part 851.
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Year original
maximum and/or
minimum CPI-U
DOE Authority containing civil Before adjustment After adjustment penalty level Adjustment
monetary penalty was multiplier
established or
last adjusted
----------------------------------------------------------------------------------------------------------------
10 CFR 207.7...................... $4,000............... $10,000.............. 1974 4.65436
10 CFR 218.42..................... 9,000................ 21,661............... 1975 4.33220
10 CFR 429.120.................... 200.................. 433.................. 1975 4.33220
10 CFR 431.382.................... 200.................. 433.................. 1975 4.33220
10 CFR 490.604.................... 9,000................ 8,386................ 1992 1.67728
10 CFR 501.181.................... --40,000............. --88,613............. 1978 3.54453
--3.30/mcf........... --8/mcf..............
--20/bbl............. --35/bbl.............
10 CFR 601.400 and App A.......... --minimum $15,000.... --minimum $18,936.... 1989 1.89361
--maximum $160,000... --maximum $189,361...
10 CFR 820.81..................... 160,000.............. 197,869.............. 1988 1.97869
10 CFR 824.1 and App A............ 120,000.............. 141,402.............. 1999 1.41402
10 CFR 824.4 and App A............ 120,000.............. 141,402.............. 1999 1.41402
10 CFR 851.5 and App B............ 80,000............... 91,830.............. 2002 1.31185
10 CFR 1013.3..................... 9,000................ 10,781............... 1986 2.15628
10 CFR 1017.29.................... 160,000.............. 254,645.............. 1981 2.54645
10 CFR 1050.303................... 9,000................ 19,305............... 1977 3.86101
50 U.S.C. 2731 \2\................ 6,000................ 8,655................ 1991 1.73099
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[[Page 41792]]
In addition to the above, 10 CFR 820.80 was updated to indicate
that subpart G of part 820 implements the Inflation Adjustment Act as
further amended by the 2015 Act. In Appendix A to part 820, Appendix A
to part 824, and Appendix B to part 851, references to the statutory
CMP limit were clarified to refer to the statutory CMP limit, as
periodically adjusted for inflation. The authority citations for some
CFR parts included in this CMP adjustment were also updated to include
the statutory citation for the Act, as amended, 28 U.S.C. 2461 note.
IV. Interim Final Rulemaking
Section 4(b)(1)(A) of the Act states that, for the for the first
adjustment made under the Act after the date of enactment of the 2015
Act [Nov. 2, 2015] the head of an agency shall adjust CMPs through an
interim final rulemaking and the adjustment shall take effect not later
than August 1, 2016. As this rulemaking is the first adjustment made
under the 2015 Act after its enactment, DOE must issue it as an interim
final rule with a specified effective date without regard to the
procedural requirements applicable to rulemaking under the
Administrative Procedure Act, 5 U.S.C. 553.
In addition, in accordance with 5 U.S.C. 553(b), the Administrative
Procedure Act, DOE generally publishes a rule in a proposed form and
solicits public comment on it before issuing the rule in final.
However, 5 U.S.C. 553(b)(B) provides an exception to the public comment
requirement if the agency finds good cause to omit advance notice and
public participation. Good cause is shown when public comment is
``impracticable, unnecessary, or contrary to the public interest.''
DOE finds that providing an opportunity for public comment prior to
publication of this rule is not necessary because DOE is carrying out a
ministerial, non-discretionary duty specified in an Act of Congress.
This interim final rule incorporates requirements specifically set
forth in 28 U.S.C. 2461 note requiring DOE to issue a regulation
implementing catch-up inflation adjustments for all its civil penalty
provisions. The formula for the amount of the penalty adjustment is
prescribed by Congress. Prior notice and opportunity to comment are
therefore unnecessary in this case because these changes are not
subject to the exercise of discretion by DOE. These technical changes,
required by law, do not substantively alter the existing regulatory
framework nor in any way affect the terms under which DOE assesses
civil penalties.
V. Regulatory Review
A. Executive Order 12866
This rule has been determined not to be a significant regulatory
action under Executive Order 12866, ``Regulatory Planning and Review,''
58 FR 51735 (October 4, 1993). Accordingly, this action was not subject
to review under that Executive Order by the Office of Information and
Regulatory Affairs of the Office of Management and Budget.
B. National Environmental Policy Act
DOE has determined that this interim final rule is covered under
the Categorical Exclusion found in DOE's National Environmental Policy
Act regulations at paragraph A5 of Appendix A to Subpart D, 10 CFR part
1021, which applies to a rulemaking that amends an existing rule or
regulation and that does not change the environmental effect of the
rule or regulation being amended. Accordingly, neither an environmental
assessment nor an environmental impact statement is required.
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.) requires
preparation of an initial regulatory flexibility analysis for any rule
that by law must be proposed for public comment. As discussed above,
the 2015 Act requires that the catch-up adjustment be done through an
interim final rule, and DOE has determined that prior notice and
opportunity for public comment is unnecessary. Because a notice of
proposed rulemaking is not required for this action pursuant to 5
U.S.C. 553, or any other law, no regulatory flexibility analysis has
been prepared for today's interim final rule.
D. Paperwork Reduction Act
This interim final rule imposes no new information collection
requirements subject to the Paperwork Reduction Act.
E. Unfunded Mandates Reform Act of 1995
The Unfunded Mandates Reform Act of 1995 (Pub. L. 104-4) generally
requires Federal agencies to examine closely the impacts of regulatory
actions on State, local, and tribal governments. Section 201 excepts
agencies from assessing effects on State, local or tribal governments
or the private sector of rules that incorporate requirements
specifically set forth in law. Because this rule incorporates
requirements specifically set forth in 28 U.S.C. 2461 note, DOE is not
required to assess its regulatory effects under Section 201. Unfunded
Mandates Reform Act sections 202 and 205 do not apply to today's action
because they apply only to rules for which a general notice of proposed
rulemaking is published. Nevertheless, DOE has determined that today's
regulatory action does not impose a Federal mandate on State, local, or
tribal governments or on the public sector.
F. Treasury and General Government Appropriations Act, 1999
Section 654 of the Treasury and General Government Appropriations
Act, 1999 (Pub. L. 105-277) requires Federal agencies to issue a Family
Policymaking Assessment for any proposed rule that may affect family
well being. This rule would not have any impact on the autonomy or
integrity of the family as an institution. Accordingly, DOE has
concluded that it is not necessary to prepare a Family Policymaking
Assessment.
G. Executive Order 13132
Executive Order 13132, ``Federalism,'' 64 FR 43255 (August 4, 1999)
imposes certain requirements on agencies formulating and implementing
policies or regulations that preempt State law or that have federalism
implications. Agencies are required to examine the constitutional and
statutory authority supporting any action that would limit the
policymaking discretion of the States and carefully assess the
necessity for such actions. DOE has examined this rule and has
determined that it would not preempt State law and would not have a
substantial direct effect on the States, on the relationship between
the national government and the States, or on the distribution of power
and responsibilities among the various levels of government. No further
action is required by Executive Order 13132.
H. Executive Order 12988
With respect to the review of existing regulations and the
promulgation of new regulations, section 3(a) of Executive Order 12988,
``Civil Justice Reform,'' 61 FR 4729 (February 7, 1996), imposes on
Executive agencies the general duty to adhere to the following
requirements: (1) Eliminate drafting errors and ambiguity; (2) write
regulations to minimize litigation; and (3) provide a clear legal
standard for affected conduct rather than a general standard and
promote simplification and burden reduction. With regard to the review
required by section 3(a), section 3(b) of Executive Order 12988
specifically requires that Executive
[[Page 41793]]
agencies make every reasonable effort to ensure that the regulation:
(1) Clearly specifies the preemptive effect, if any; (2) clearly
specifies any effect on existing Federal law or regulation; (3)
provides a clear legal standard for affected conduct while promoting
simplification and burden reduction; (4) specifies the retroactive
effect, if any; (5) adequately defines key terms; and (6) addresses
other important issues affecting clarity and general draftsmanship
under any guidelines issued by the Attorney General. Section 3(c) of
Executive Order 12988 requires Executive agencies to review regulations
in light of applicable standards in section 3(a) and section 3(b) to
determine whether they are met or it is unreasonable to meet one or
more of them. DOE has completed the required review and determined
that, to the extent permitted by law, this rule meets the relevant
standards of Executive Order 12988.
I. Treasury and General Government Appropriations Act, 2001
The Treasury and General Government Appropriations Act, 2001 (44
U.S.C. 3516 note) provides for agencies to review most disseminations
of information to the public under guidelines established by each
agency pursuant to general guidelines issued by OMB. OMB's guidelines
were published at 67 FR 8452 (February 22, 2002), and DOE's guidelines
were published at 67 FR 62446 (October 7, 2002). DOE has reviewed this
rule under the OMB and DOE guidelines and has concluded that it is
consistent with applicable policies in those guidelines.
J. Executive Order 13211
Executive Order 13211, ``Actions Concerning Regulations That
Significantly Affect Energy Supply, Distribution, or Use,'' 66 FR 28355
(May 22, 2001) requires Federal agencies to prepare and submit to the
OMB, a Statement of Energy Effects for any proposed significant energy
action. A ``significant energy action'' is defined as any action by an
agency that promulgated or is expected to lead to promulgation of a
final rule, and that: (1) Is a significant regulatory action under
Executive Order 12866, or any successor order; and (2) is likely to
have a significant adverse effect on the supply, distribution, or use
of energy, or (3) is designated by the Administrator of OIRA as a
significant energy action. For any proposed significant energy action,
the agency must give a detailed statement of any adverse effects on
energy supply, distribution, or use should the proposal be implemented,
and of reasonable alternatives to the action and their expected
benefits on energy supply, distribution, and use. This regulatory
action would not have a significant adverse effect on the supply,
distribution, or use of energy and is therefore not a significant
energy action. Accordingly, DOE has not prepared a Statement of Energy
Effects.
K. Congressional Notification
As required by 5 U.S.C. 801, DOE will submit to Congress a report
regarding the issuance of today's interim final rule prior to the
effective date set forth at the outset of this notice. The report will
state that it has been determined that the rule is not a ``major rule''
as defined by 5 U.S.C. 801(2).
L. Approval of the Office of the Secretary
The Secretary of Energy has approved publication of this interim
final rule.
List of Subjects
10 CFR Part 207
Administrative practice and procedure, Energy, Penalties.
10 CFR Part 218
Administrative practice and procedure, Penalties, Petroleum
allocation.
10 CFR Part 429
Confidential business information, Energy conservation, Household
appliances, Imports, Incorporation by reference, Reporting and
recordkeeping requirements.
10 CFR Part 431
Administrative practices and procedure, Confidential business
information, Energy conservation, Reporting and recordkeeping
requirements.
10 CFR Part 490
Administrative practice and procedure, Energy conservation,
Penalties.
10 CFR Part 501
Administrative practice and procedure, Electric power plants,
Energy conservation, Natural gas, Petroleum.
10 CFR Part 601
Government contracts, Grant programs, Loan programs, Penalties.
10 CFR Part 820
Administrative practice and procedure, Government contracts,
Penalties, Radiation protection.
10 CFR Part 824
Government contracts, Nuclear materials, Penalties, Security
measures.
10 CFR Part 851
Civil penalty, Hazardous substances, Occupational safety and
health, Safety, Reporting and recordkeeping requirements.
10 CFR Part 1013
Administrative practice and procedure, Claims, Fraud, Penalties.
10 CFR Part 1017
Administrative practice and procedure, Government contracts,
National Defense, Nuclear Energy, Penalties, Security measures.
10 CFR Part 1050
Decorations, medals, awards, Foreign relations, Government
employees, Government property, Reporting and recordkeeping
requirements.
Issued in Washington, DC, on June 21, 2016.
Steven Croley,
General Counsel.
For the reasons set forth in the preamble, DOE amends chapters II,
III, and X of title 10 of the Code of Federal Regulations as set forth
below.
PART 207--COLLECTION OF INFORMATION
0
1. The authority citation for part 207 continues to read as follows:
Authority: 15 U.S.C. 787 et seq.; 15 U.S.C. 791 et seq.; E.O.
11790, 39 FR 23185; 28 U.S.C. 2461 note.
0
2. Section 207.7 is amended by revising the first sentence of paragraph
(c)(1) to read as follows:
Sec. 207.7 Sanctions.
* * * * *
(c) * * * (1) Any person who violates any provision of this subpart
or any order issued pursuant thereto shall be subject to a civil
penalty of not more than $10,000 for each violation. * * *
* * * * *
PART 218--STANDBY MANDATORY INTERNATIONAL OIL ALLOCATION
0
3. The authority citation for part 218 continues to read as follows:
Authority: 15 U.S.C. 751 et seq.; 15 U.S.C. 787 et seq.; 42
U.S.C. 6201 et seq.; 42 U.S.C. 7101 et seq.; E.O. 11790, 39 FR
23185; E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note.
0
4. Section 218.42 is amended by revising paragraph (b)(1) to read as
follows:
[[Page 41794]]
Sec. 218.42 Sanctions.
* * * * *
(b) * * * (1) Any person who violates any provision of this part
218 or any order issued pursuant thereto shall be subject to a civil
penalty of not more than $21,661 for each violation.
* * * * *
PART 429--CERTIFICATION, COMPLIANCE, AND ENFORCEMENT FOR CONSUMER
PRODUCTS AND COMMERCIAL AND INDUSTRIAL EQUIPMENT
0
5. The authority citation for part 429 is revised to read as follows:
Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.
0
6. Section 429.120 is amended by revising the first sentence to read as
follows:
Sec. 429.120 Maximum civil penalty.
Any person who knowingly violates any provision of Sec. 429.102(a)
may be subject to assessment of a civil penalty of no more than $433
for each violation. * * *
PART 431--ENERGY EFFICIENCY PROGRAM FOR CERTAIN COMMERCIAL AND
INDUSTRIAL EQUIPMENT
0
7. The authority citation for part 431 is revised to read as follows:
Authority: 42 U.S.C. 6291-6317; 28 U.S.C. 2461 note.
0
8. Section 431.382 is amended by revising paragraph (b) to read as
follows:
Sec. 431.382 Prohibited acts.
* * * * *
(b) In accordance with sections 333 and 345 of the Act, any person
who knowingly violates any provision of paragraph (a) of this section
may be subject to assessment of a civil penalty of no more than $433
for each violation.
* * * * *
PART 490--ALTERNATIVE FUEL TRANSPORTATION PROGRAM
0
9. The authority citation for part 490 is revised to read as follows:
Authority: 42 U.S.C. 7191 et seq.; 42 U.S.C. 13201, 13211,
13220, 13251 et seq; 28 U.S.C. 2461 note.
0
10. Section 490.604 is amended by revising paragraph (a) to read as
follows:
Sec. 490.604 Penalties and Fines.
(a) Civil Penalties. Whoever violates Sec. 490.603 of this part
shall be subject to a civil penalty of not more than $8,386 for each
violation.
* * * * *
PART 501--ADMINISTRATIVE PROCEDURES AND SANCTIONS
0
11. The authority citation for part 501 continues to read as follows:
Authority: 42 U.S.C. 7101 et seq.; 42 U.S.C. 8301 et seq.; 42
U.S.C. 8701 et seq.; E.O. 12009, 42 FR 46267; 28 U.S.C. 2461 note.
0
12. Section 501.181 is amended by revising paragraph (c)(1) to read as
follows:
Sec. 501.181 Sanctions.
* * * * *
(c) * * * (1) Any person who violates any provisions of the Act
(other than section 402) or any rule or order thereunder will be
subject to the following civil penalty, which may not exceed $88,613
for each violation: Any person who operates a powerplant or major fuel
burning installation under an exemption, during any 12-calendar-month
period, in excess of that authorized in such exemption will be assessed
a civil penalty of up to $8 for each MCF of natural gas or up to $35
for each barrel of oil used in excess of that authorized in the
exemption.
* * * * *
PART 601--NEW RESTRICTIONS ON LOBBYING
0
13. The authority citation for part 601 continues to read as follows:
Authority: 31 U.S.C. 1352; 42 U.S.C. 7254 and 7256; 31 U.S.C.
6301-6308; 28 U.S.C. 2461 note.
0
14. Section 601.400 is amended by revising paragraphs (a), (b) and (e)
to read as follows:
Sec. 601.400 Penalties.
(a) Any person who makes an expenditure prohibited herein shall be
subject to a civil penalty of not less than $18,936 and not more than
$189,361 for each such expenditure.
(b) Any person who fails to file or amend the disclosure form (see
appendix B to this part) to be filed or amended if required herein,
shall be subject to a civil penalty of not less than $18,936 and not
more than $189,361 for each such failure.
* * * * *
(e) First offenders under paragraphs (a) or (b) of this section
shall be subject to a civil penalty of $18,936, absent aggravating
circumstances. Second and subsequent offenses by persons shall be
subject to an appropriate civil penalty between $18,936 and $189,361,
as determined by the agency head or his or her designee.
* * * * *
0
15. Appendix A to part 601 is amended by:
0
a. Revising the last sentence of the second undesignated paragraph, in
paragraph (3) of the section entitled, ``Certification for Contracts,
Grants, Loans, and Cooperative Agreements''; and
0
b. Revising the last sentence of the third undesignated paragraph, in
the section entitled, ``Statement for Loan Guarantees and Loan
Insurance''.
The revisions read as follows:
Appendix A to Part 601--Certification Regarding Lobbying
Certification for Contracts, Grants, Loans, and Cooperative
Agreements
* * * * *
(3) * * *
* * * Any person who fails to file the required certification
shall be subject to a civil penalty of not less than $18,936 and not
more than $189,361 for each such failure.
Statement for Loan Guarantees and Loan Insurance
* * * * *
* * * Any person who fails to file the required statement shall
be subject to a civil penalty of not less than $18,936 and not more
than $189,361 for each such failure.
PART 820--PROCEDURAL RULES FOR DOE NUCLEAR ACTIVITIES
0
16. The authority citation for part 820 continues to read as follows:
Authority: 42 U.S.C. 2201; 2282(a); 7191; 28 U.S.C. 2461 note;
50 U.S.C. 2410.
0
17. Section 820.80 is amended by revising the first sentence to read as
follows:
Sec. 820.80 Basis and purpose.
This subpart implements the Federal Civil Penalties Inflation
Adjustment Act of 1990 (the Act) (Pub. L. 101-410), as amended by the
Debt Collection Improvement Act of 1996 (Pub. L. 104-134, section
31001) and the Federal Civil Penalties Inflation Adjustment Act
Improvements Act of 2015 (Pub. L. 114-74, section 701). 28 U.S.C. 2461
note. * * *
0
18. Section 820.81 is amended by revising the first sentence to read as
follows:
Sec. 820.81 Amount of penalty.
Any person subject to a penalty under 42 U.S.C. 2282a shall be
subject to a civil penalty in an amount not to exceed $197,869 for each
such violation. * * *
0
19. Appendix A to part 820 is amended by:
0
a. Revising the fourth sentence of paragraph 2.e., ``Civil Penalty,''
in section IX entitled ``Enforcement Actions''; and
[[Page 41795]]
0
b. Revising paragraph a. in section XII entitled ``Secretarial
Notification and Consultation''.
The revisions read as follows:
Appendix A to Part 820--General Statement of Enforcement Policy
* * * * *
IX. Enforcement Actions
* * * * *
2. Civil Penalty
* * * * *
e. * * * In no instance will a civil penalty for any one
violation exceed the statutory limit, as periodically adjusted for
inflation as required by law. * * *
* * * * *
XII. Secretarial Notification and Consultation
* * * * *
a. Proposals to impose civil penalties in an amount equal to or
greater than the statutory limit, as periodically adjusted for
inflation as required by law;
* * * * *
PART 824--PROCEDURAL RULES FOR THE ASSESSMENT OF CIVIL PENALTIES
FOR CLASSIFIED INFORMATION SECURITY VIOLATIONS
0
20. The authority citation for part 824 is revised to read as follows:
Authority: 42 U.S.C. 2201, 2282b, 7101 et seq., 50 U.S.C. 2401
et seq.; 28 U.S.C. 2461 note.
0
21. Section 824.1 is amended by revising the second sentence to read as
follows:
Sec. 824.1 Purpose and scope.
* * * Subsection a. provides that any person who has entered into a
contract or agreement with the Department of Energy, or a subcontract
or subagreement thereto, and who violates (or whose employee violates)
any applicable rule, regulation or order under the Act relating to the
security or safeguarding of Restricted Data or other classified
information, shall be subject to a civil penalty not to exceed $141,402
for each violation. * * *
0
22. Section 824.4 is amended by revising paragraph (c) to read as
follows:
Sec. 824.4 Civil penalties.
* * * * *
(c) The Director may propose imposition of a civil penalty for
violation of a requirement of a regulation or rule under paragraph (a)
of this section or a compliance order issued under paragraph (b) of
this section, not to exceed $141,402 for each violation.
* * * * *
0
23. Appendix A to part 824 is amended by:
0
a. Revising the fourth and sixth sentences of paragraph 2.e., in
section VIII entitled ``Enforcement Actions''; and
0
b. Revising the last sentence of paragraph 3.d., ``Adjustment
Factors,'' in section VIII entitled ``Enforcement Actions''.
The revisions read as follows:
Appendix A to Part 824--General Statement of Enforcement Policy
* * * * *
VIII. Enforcement Actions
* * * * *
2. Civil Penalty
* * * * *
e. * * * In no instance will a civil penalty for any one
violation exceed the statutory limit, as periodically adjusted for
inflation as required by law, per violation. * * * Thus, the per
violation cap will not shield a DOE contractor that is or should
have been aware of an ongoing violation and has not reported it to
DOE and taken corrective action despite an opportunity to do so from
liability significantly exceeding the limit. * * *
* * * * *
3. Adjustment Factors
* * * * *
d. * * * Based on the degree of such factors, DOE may escalate
the amount of civil penalties up to the statutory maximum, as
periodically adjusted for inflation as required by law, per
violation per day for continuing violations.
* * * * *
PART 851--WORKER SAFETY AND HEALTH PROGRAM
0
24. The authority citation for part 851 is revised to read as follows:
Authority: 42 U.S.C. 2201(i)(3), (p); 42 U.S.C. 2282c; 42 U.S.C.
5801 et seq.; 42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 28
U.S.C. 2461 note.
0
25. Section 851.5 is amended by revising the first sentence of
paragraph (a) to read as follows:
Sec. 851.5 Enforcement.
(a) A contractor that is indemnified under section 170d. of the AEA
(or any subcontractor or supplier thereto) and that violates (or whose
employee violates) any requirement of this part shall be subject to a
civil penalty of up to $91,830 for each such violation. * * *
* * * * *
0
26. Appendix B to part 851 is amended by:
0
a. Revising the last sentences of paragraphs (b)(1) and (2) in section
VI;
0
b. Revising paragraph 1.(e)(1) in section IX ; and
0
c. Revising the fourth sentence in paragraph 2.(f) in section IX.
The revisions read as follows:
Appendix B to Part 851--General Statement of Enforcement Policy
* * * * *
VI. Severity of Violations
(b) * * *
(1) * * * A Severity Level I violation would be subject to a
base civil penalty of up to 100% of the maximum base civil penalty
of $91,830.
(2) * * * A Severity Level II violation would be subject to a
base civil penalty up to 50% of the maximum base civil penalty
($45,915).
* * * * *
IX. Enforcement Actions
* * * * *
1. Notice of Violation
* * * * *
(e) * * *
(1) DOE may assess civil penalties of up to $91,830 per
violation per day on contractors (and their subcontractors and
suppliers) that are indemnified by the Price-Anderson Act, 42 U.S.C.
2210(d). See 10 CFR 851.5(a).
* * * * *
2. Civil Penalty
* * * * *
(f) * * * In no instance will a civil penalty for any one
violation exceed the statutory limit, as periodically adjusted for
inflation as required by law, per day. * * *
* * * * *
PART 1013--PROGRAM FRAUD CIVIL REMEDIES AND PROCEDURES
0
27. The authority citation for part 1013 continues to reads as follows:
Authority: 31 U.S.C. 3801-3812; 28 U.S.C. 2461 note.
0
28. Section 1013.3 is amended by revising paragraphs (a)(1)(iv) and
(b)(1)(ii) to read as follows:
Sec. 1013.3 Basis for civil penalties and assessments.
(a) * * *
(1) * * *
(iv) Is for payment for the provision of property or services which
the person has not provided as claimed, shall be subject, in addition
to any other remedy that may be prescribed by law, to a civil penalty
of not more than $10,781 for each such claim.
* * * * *
(b) * * *
(1) * * *
(ii) Contains or is accompanied by an express certification or
affirmation of the truthfulness and accuracy of the contents of the
statement, shall be subject, in addition to any other remedy that may
be prescribed by law, to a civil
[[Page 41796]]
penalty of not more than $10,781 for each such statement.
* * * * *
PART 1017--IDENTIFICATION AND PROTECTION OF UNCLASSIFIED CONTROLLED
NUCLEAR INFORMATION
0
29. The authority citation for part 1017 is revised to read as follows:
Authority: 42 U.S.C. 7101 et seq.; 50 U.S.C. 2401 et seq.; 42
U.S.C. 2168; 28 U.S.C. 2461 note.
0
30. Section 1017.29 is amended by revising paragraph (c) to read as
follows:
Sec. 1017.29 Civil penalty.
* * * * *
(c) Amount of penalty. The Director may propose imposition of a
civil penalty for violation of a requirement of a regulation under
paragraph (a) of this section or a compliance order issued under
paragraph (b) of this section, not to exceed $254,645 for each
violation.
* * * * *
PART 1050--FOREIGN GIFTS AND DECORATIONS
0
31. The authority citation for part 1050 continues to read as follows:
Authority: The Constitution of the United States, Article I,
Section 9; 5 U.S.C. 7342; 22 U.S.C. 2694; 42 U.S.C. 7254 and 7262;
28 U.S.C. 2461 note.
0
32. Section 1050.303 is amended by revising the last sentence in
paragraph (d) to read as follows:
Sec. 1050.303 Enforcement.
* * * * *
(d) * * * The court in which such action is brought may assess a
civil penalty against such employee in any amount not to exceed the
retail value of the gift improperly solicited or received plus $19,305.
[FR Doc. 2016-15148 Filed 6-27-16; 8:45 am]
BILLING CODE 6450-01-P